indicate that the system of quality control is insufficient. 2) Systemic, repetitive or other significant deficiencies that require prompt corrective action 2 Does the firm communicate (Audit Compliance
company to take any action or omit any action as the SEC Office deems appropriate within a specified period: (1) the management of a mutual fund has the characteristic or form in accordance with the rules
negotiation on securities investment with clients for at least three months from the date on which such action takes place. In cases where there is a complaint regarding such action and the handling of such
action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6) imposing the intermediary to submit any information
to the extent that it is not contrary to the purpose of the creation of trust. SECTION 21 In cases where the SEC Office has issued notifications specifying additional particulars and statements under
. Clause 25. The derivatives broker shall put in place a reliable system to verify that the person who sends orders to the derivatives broker to take any action regarding the assets in the client’s account
caused by risk arising from business operation to the extent that it does not have an adverse affect on the business operation of the securities company. Risk to be taken into appraisal in risk management
, there shall be a change of service provider or any action, as deem appropriate, for the best interest of the clients in order for the service provider to comply with this Notification or other rules
such action until the complaint handling is completed. In the case where the giving of advice or negotiation with a client is made on telephone or electronic means, a securities company shall keep the
) having a clear action plan which demonstrates determination for providing services of trading investment units in the long run; (6) having sufficient readiness for providing services and ensuring that